Latest Dodd-Frank Posts
SEC Gives Guidance on Venture Capital Exemption
![11379622_S[1]](http://dodd-frank.com/wp-content/uploads/2013/05/11379622_S1-285x200.jpg)
Investment Advisers The SEC Division of Investment Management has provided guidance regarding the application of the exemption from investment adviser registration available to an investment adviser that advises solely one or more “venture capital funds” as defined in Rule 203(l)-1 of the Advisers Act (the “VC Exemption”). The guidance clarifies, among other things: Venture capital advisers may […] Read more →
Nasdaq Proposes Changes to Compensation Committee Independence Requirements
Executive Compensation, Public Companies and Securities, Uncategorized When implementing SEC Exchange Act Rule 10C-1 regarding the independence of compensation committee members, Nasdaq adopted a prohibition on the receipt of compensatory fees by... Read more →
CFPB Issues Report on Compliance Costs
Consumer Protection The Consumer Financial Protection Bureau, or CFPB, has issued a report entitled “Understanding the Effects of Certain Deposit Regulations on Financial Institutions’... Read more →
D&O Questionnaire Update Forms for 2014
Public Companies and Securities The SEC has adopted rules prohibiting “bad actors” from using Rule 506 after September 23, 2013 (the effective date of the rules), or if prohibited conduct occurred prior to... Read more →